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Firms need to adapt to address the advice gap
How can advisers adapt to intergenerational differences in the market? TCC's James Marshall discusses...
Answer three questions to protect your fund and your clients from liquidity risk
Recent issues have highlighted the need for stock liquidity risk management. Technical Director Don Scott says 3 questions can help you get started.
Don't be fooled by Brexit uncertainty
It's still business as usual in the regulatory world. Technical Director Don Scott explains how you can avoid being caught out.
Taking Reasonable Steps with Mini-bonds
Mini-bonds are under the regulatory spotlight. David Boyhan delves into what mini-bonds are and what can be learned from recent failures in the market.
Investment platforms still have some room for improvement
Don Scott, Technical Director at TCC discussed the key takeaways from the FCA's final report on platform providers for FT Adviser.
Regulation in 2019: Our outlook
SM&CR is one of the biggest changes on the horizon for 2019 and could potentially cause a compliance headache for the advisory sector. We share our outlook on this regime and others for the year ahead.
A Compliance Christmas Carol
Let Scrooge's three ghosts take you on a journey of compliance past, present and future.
Doubt cast over firms' data returns
Advisers are in the dark over what products fall under the FCA's NMPI rules. It could be described as a “rabbit hole”...
How can platforms keep up with product governance rules?
New regulations are causing confusion over which parts of the advice chain are responsible for checking products are appropriate for particular clients.
How the robo-advice revolution could transform advice firms
We explore how robo-advice can benefit firms and assesses whether it'll be a threat to advisers in the future.
Our tips on meeting the FCA's expectations around culture
Find out the four key areas you should focus on to remain aligned with the regulator's cultural expectations
New data rules could destroy advisers' lists
Advisers may need to cull potential clients from lists if they do not have explicit consent to hold their data.
The FCA has pension transfer changes in sight
We discuss the FCA's focus on DB pension transfer pricing with FT Adviser's Ima Jackson-Obot
The FCA's Update on Portable Fact Finds
TCC's David Boyhan provides his views on the topic of portable fact finds following the FCA's published guidance last week on its decision for clients to bring their fact finds from previous advisers.
Regulation Overload: Are Advisers Ready For the MIFID II Mountain
We examine why firms must be prepared for a number of process changes no matter whether they choose the FCA's option of recording conversations or taking written notes.
NatWest announces trial of TCC's RegTech solution Recordsure!
NatWest is trialling our RegTech technology to give customers confidence they are getting the best possible information and advice
Is The Age of Ultra-Niche, Tech-Savvy Compliance Officers on its Way?
It's been speculated that MiFID II may require compliance professionals to develop complex technical skills alongside traditional skill sets. We explore the reality of this prediction.